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The health and safety of all participants in the securities markets is of paramount importance
You state that, because of the coronavirus disease (COVID-19) outbreak, there is a short- term dislocation in the market for a variety of debt securities
The Commission will continue to monitor the current situation and may issue other relief as necessary or appropriate
The ICI declares that there “is no legal basis under the Investment Company Act to restrict closed-end funds’ use of certain common takeover defenses limiting ...
The Commission intends to continue to monitor the current situation
Contact the Commission with guidance or relief requests
“If you’re going to save this industry, you’re going to have to do a 180-degree turn"
BPU Investment Management agrees to pay $927,000 to settle charges
The portolio manager managed the Fund differently from what was represented to investors and their advisers
The dual registrant will pay a $1.5 million penalty